§ 57b-2. — Confidentiality.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 15USC57b-2]
TITLE 15--COMMERCE AND TRADE
CHAPTER 2--FEDERAL TRADE COMMISSION; PROMOTION OF EXPORT TRADE AND
PREVENTION OF UNFAIR METHODS OF COMPETITION
SUBCHAPTER I--FEDERAL TRADE COMMISSION
Sec. 57b-2. Confidentiality
(a) Definitions
For purposes of this section:
(1) The term ``material'' means documentary material, tangible
things, written reports or answers to questions, and transcripts of
oral testimony.
(2) The term ``Federal agency'' has the meaning given it in
section 552(e) \1\ of title 5.
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\1\ See References in Text note below.
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(b) Procedures respecting documents, tangible things, or transcripts of
oral testimony received pursuant to compulsory process or
investigation
(1) With respect to any document, tangible thing, or transcript of
oral testimony received by the Commission pursuant to compulsory process
in an investigation, a purpose of which is to determine whether any
person may have violated any provision of the laws administered by the
Commission, the procedures established in paragraph (2) through
paragraph (7) shall apply.
(2)(A) The Commission shall designate a duly authorized agent to
serve as custodian of documentary material, tangible things, or written
reports or answers to questions, and transcripts of oral testimony, and
such additional duly authorized agents as the Commission shall determine
from time to time to be necessary to serve as deputies to the custodian.
(B) Any person upon whom any demand for the production of
documentary material has been duly served shall make such material
available for inspection and copying or reproduction to the custodian
designated in such demand at the principal place of business of such
person (or at such other place as such custodian and such person
thereafter may agree or prescribe in writing or as the court may direct
pursuant to section 57b-1(h) of this title) on the return date specified
in such demand (or on such later date as such custodian may prescribe in
writing). Such person may upon written agreement between such person and
the custodian substitute copies for originals of all or any part of such
material.
(3)(A) The custodian to whom any documentary material, tangible
things, written reports or answers to questions, and transcripts of oral
testimony are delivered shall take physical possession of such material,
reports or answers, and transcripts, and shall be responsible for the
use made of such material, reports or answers, and transcripts, and for
the return of material, pursuant to the requirements of this section.
(B) The custodian may prepare such copies of the documentary
material, written reports or answers to questions, and transcripts of
oral testimony, and may make tangible things available, as may be
required for official use by any duly authorized officer or employee of
the Commission under regulations which shall be promulgated by the
Commission. Notwithstanding subparagraph (C), such material, things, and
transcripts may be used by any such officer or employee in connection
with the taking of oral testimony under this section.
(C) Except as otherwise provided in this section, while in the
possession of the custodian, no documentary material, tangible things,
reports or answers to questions, and transcripts of oral testimony shall
be available for examination by any individual other than a duly
authorized officer or employee of the Commission without the consent of
the person who produced the material, things, or transcripts. Nothing in
this section is intended to prevent disclosure to either House of the
Congress or to any committee or subcommittee of the Congress, except
that the Commission immediately shall notify the owner or provider of
any such information of a request for information designated as
confidential by the owner or provider.
(D) While in the possession of the custodian and under such
reasonable terms and conditions as the Commission shall prescribe--
(i) documentary material, tangible things, or written reports
shall be available for examination by the person who produced the
material, or by any duly authorized representative of such person;
and
(ii) answers to questions in writing and transcripts of oral
testimony shall be available for examination by the person who
produced the testimony or by his attorney.
(4) Whenever the Commission has instituted a proceeding against a
person, partnership, or corporation, the custodian may deliver to any
officer or employee of the Commission documentary material, tangible
things, written reports or answers to questions, and transcripts of oral
testimony for official use in connection with such proceeding. Upon the
completion of the proceeding, the officer or employee shall return to
the custodian any such material so delivered which has not been received
into the record of the proceeding.
(5) If any documentary material, tangible things, written reports or
answers to questions, and transcripts of oral testimony have been
produced in the course of any investigation by any person pursuant to
compulsory process and--
(A) any proceeding arising out of the investigation has been
completed; or
(B) no proceeding in which the material may be used has been
commenced within a reasonable time after completion of the
examination and analysis of all such material and other information
assembled in the course of the investigation;
then the custodian shall, upon written request of the person who
produced the material, return to the person any such material which has
not been received into the record of any such proceeding (other than
copies of such material made by the custodian pursuant to paragraph
(3)(B)).
(6) The custodian of any documentary material, written reports or
answers to questions, and transcripts of oral testimony may deliver to
any officers or employees of appropriate Federal law enforcement
agencies, in response to a written request, copies of such material for
use in connection with an investigation or proceeding under the
jurisdiction of any such agency. The custodian of any tangible things
may make such things available for inspection to such persons on the
same basis. Such materials shall not be made available to any such
agency until the custodian received certification of any officer of such
agency that such information will be maintained in confidence and will
be used only for official law enforcement purposes. Such documentary
material, results of inspections of tangible things, written reports or
answers to questions, and transcripts of oral testimony may be used by
any officer or employee of such agency only in such manner and subject
to such conditions as apply to the Commission under this section. The
custodian may make such materials available to any State law enforcement
agency upon the prior certification of any officer of such agency that
such information will be maintained in confidence and will be used only
for official law enforcement purposes.
(7) In the event of the death, disability, or separation from
service in the Commission of the custodian of any documentary material,
tangible things, written reports or answers to questions, and
transcripts of oral testimony produced under any demand issued under
this subchapter, or the official relief of the custodian from
responsibility for the custody and control of such material, the
Commission promptly shall--
(A) designate under paragraph (2)(A) another duly authorized
agent to serve as custodian of such material; and
(B) transmit in writing to the person who produced the material
or testimony notice as to the identity and address of the successor
so designated.
Any successor designated under paragraph (2)(A) as a result of the
requirements of this paragraph shall have (with regard to the material
involved) all duties and responsibilities imposed by this section upon
his predecessor in office with regard to such material, except that he
shall not be held responsible for any default or dereliction which
occurred before his designation.
(c) Information considered confidential
(1) All information reported to or otherwise obtained by the
Commission which is not subject to the requirements of subsection (b) of
this section shall be considered confidential when so marked by the
person supplying the information and shall not be disclosed, except in
accordance with the procedures established in paragraph (2) and
paragraph (3).
(2) If the Commission determines that a document marked confidential
by the person supplying it may be disclosed because it is not a trade
secret or commercial or financial information which is obtained from any
person and which is privileged or confidential, within the meaning of
section 46(f) of this title, then the Commission shall notify such
person in writing that the Commission intends to disclose the document
at a date not less than 10 days after the date of receipt of
notification.
(3) Any person receiving such notification may, if he believes
disclosure of the document would cause disclosure of a trade secret, or
commercial or financial information which is obtained from any person
and which is privileged or confidential, within the meaning of section
46(f) of this title, before the date set for release of the document,
bring an action in the district court of the United States for the
district within which the documents are located or in the United States
District Court for the District of Columbia to restrain disclosure of
the document. Any person receiving such notification may file with the
appropriate district court or court of appeals of the United States, as
appropriate, an application for a stay of disclosure. The documents
shall not be disclosed until the court has ruled on the application for
a stay.
(d) Particular disclosures allowed
(1) The provisions of subsection (c) of this section shall not be
construed to prohibit--
(A) the disclosure of information to either House of the
Congress or to any committee or subcommittee of the Congress, except
that the Commission immediately shall notify the owner or provider
of any such information of a request for information designated as
confidential by the owner or provider;
(B) the disclosure of the results of any investigation or study
carried out or prepared by the Commission, except that no
information shall be identified nor shall information be disclosed
in such a manner as to disclose a trade secret of any person
supplying the trade secret, or to disclose any commercial or
financial information which is obtained from any person and which is
privileged or confidential;
(C) the disclosure of relevant and material information in
Commission adjudicative proceedings or in judicial proceedings to
which the Commission is a party; or
(D) the disclosure to a Federal agency of disaggregated
information obtained in accordance with section 3512 \1\ of title
44, except that the recipient agency shall use such disaggregated
information for economic, statistical, or policymaking purposes
only, and shall not disclose such information in an individually
identifiable form.
(2) Any disclosure of relevant and material information in
Commission adjudicative proceedings or in judicial proceedings to which
the Commission is a party shall be governed by the rules of the
Commission for adjudicative proceedings or by court rules or orders,
except that the rules of the Commission shall not be amended in a manner
inconsistent with the purposes of this section.
(e) Effect on other statutory provisions limiting disclosure
Nothing in this section shall supersede any statutory provision
which expressly prohibits or limits particular disclosures by the
Commission, or which authorizes disclosures to any other Federal agency.
(f) Exemption from disclosure
Any material which is received by the Commission in any
investigation, a purpose of which is to determine whether any person may
have violated any provision of the laws administered by the Commission,
and which is provided pursuant to any compulsory process under this
subchapter or which is provided voluntarily in place of such compulsory
process shall be exempt from disclosure under section 552 of title 5.
(Sept. 26, 1914, ch. 311, Sec. 21, as added Pub. L. 96-252, Sec. 14, May
28, 1980, 94 Stat. 385; amended Pub. L. 103-312, Sec. 8, Aug. 26, 1994,
108 Stat. 1694.)
References in Text
Section 552(e) of title 5, referred to in subsec. (a)(2), was
redesignated section 552(f) of Title 5, Government Organization and
Employees, by section 1802(b) of Pub. L. 99-570.
Section 3512 of title 44, referred to in subsec. (d)(1)(D), which
related to requirements for the collection of information by independent
Federal regulatory agencies, was a part of chapter 35 of Title 44,
Public Printing and Documents. Chapter 35 was amended generally by the
Paperwork Reduction Act of 1980 (Pub. L. 96-511) and subsequently by the
Paperwork Reduction Act of 1995 (Pub. L. 104-13).
Prior Provisions
A prior section 21 of act Sept. 26, 1914, ch. 311, was renumbered
section 25 and is classified to section 58 of this title.
Amendments
1994--Subsec. (a)(1). Pub. L. 103-312, Sec. 8(1), inserted
``tangible things,'' after ``documentary material,''.
Subsec. (b)(1). Pub. L. 103-312, Sec. 8(2), inserted ``, tangible
thing,'' after ``document''.
Subsec. (b)(2)(A). Pub. L. 103-312, Sec. 8(3), inserted ``tangible
things,'' after ``documentary material,''.
Subsec. (b)(3). Pub. L. 103-312, Sec. 8(4), in subpar. (A), inserted
``tangible things,'' after ``documentary material,'', in subpar. (B),
inserted ``, and may make tangible things available,'' after
``transcripts of oral testimony'' and ``, things,'' after ``such
material'', in subpar. (C), inserted ``tangible things,'' after
``documentary material,'' and ``, things,'' after ``material'', and in
subpar. (D)(i), inserted ``, tangible things,'' after ``documentary
material''.
Subsec. (b)(4), (5). Pub. L. 103-312, Sec. 8(5), (6), inserted
``tangible things,'' after ``documentary material,''.
Subsec. (b)(6). Pub. L. 103-312, Sec. 8(7), inserted ``The custodian
of any tangible things may make such things available for inspection to
such persons on the same basis.'' after first sentence, and ``results of
inspections of tangible things,'' after ``Such documentary material,''.
Subsec. (b)(7). Pub. L. 103-312, Sec. 8(8), inserted ``tangible
things,'' after ``documentary material,''.
Effective Date of 1994 Amendment
Amendment by Pub. L. 103-312 applicable only with respect to
compulsory process issued after Aug. 26, 1994, see section 15(d) of Pub.
L. 103-312, set out as a note under section 45 of this title.
Effective Date
Section effective May 28, 1980, see section 23 of Pub. L. 96-252,
set out as an Effective Date of 1980 Amendment note under section 45 of
this title.
Section Referred to in Other Sections
This section is referred to in sections 57b-1, 6205 of this title.
